Tanya Navar Stern has extensive experience handling complex broker-dealer and bank regulatory and enforcement issues involving the Federal Reserve Bank, SEC, FINRA, CFTC and NFA. Ms. Stern’s deep product knowledge includes fixed-income, equities, FX, derivatives, securities lending, segregation, liquidity and collateral management. Her close partnership with various financial business lines over more than a decade enables her to provide sophisticated advice on sales and trading issues, supervisory matters, compliance practices/policies, as well as reporting, registration, financial and operational obligations. Ms. Stern’s significant experience in the legal and compliance fields over 20 years allows her to manage complicated matters front-to-back by: (1) identifying areas of high regulatory/reputational risk; (2) leading responses to federal and state regulatory enforcement matters or inquires and (3) working with clients to implement appropriate mitigation, as needed.

Ms. Stern previously served in leadership positions at BNY Mellon and NatWest Markets Securities Inc., including as Managing Director, Global Chief Compliance Officer of Markets & Execution Services, Corporate Treasury, Pershing, Clearance & Collateral Management & Control at BNY Mellon and as Director, Head of US Markets Advisory at NatWest Markets Securities Inc. She has held regulatory Chief Compliance Officer positions for a FINRA-registered broker-dealer and a CFTC-registered swap dealer. From an organizational perspective, Ms. Stern has built strategic compliance department frameworks, inclusive of compliance risk assessment, control room/information barrier implementation, policy development and regulatory management.  She has counseled C-Suite executives and Boards of Directors on these structural issues, as well as on significant regulatory compliance and enforcement matters.

Before joining BNY Mellon and NatWest Markets, Ms. Stern was a Securities Litigation and Enforcement counsel at WilmerHale and an associate at K&L Gates. She represented investment banks, investment advisers, broker-dealers, public companies, hedge funds and individuals in matters before the SEC, FINRA, the US Attorney’s Office and various state securities regulatory bodies. Those matters involved a wide range of issues, including equities, complex asset-backed instruments, derivatives, supervisory controls, insider trading investigations and disclosure issues.

Ms. Stern has held FINRA Series 7 and 24 securities licenses.